State-registered independent wealth management RIA
EM Financial Services, LLC
As of its Form ADV filed August 26, 2026, EM Financial Services, LLC, a state-registered independent wealth management RIA in Miami, Florida, reported $1.4 million in regulatory assets under management across 8 accounts, ranking #1384 among independent RIAs in Florida by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 337368
- SEC file number
- None (state-registered)
- Registered since
- November 12, 2025
- Latest Form ADV filing
- August 26, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $1.4 million
- Discretionary
- $31,810 (2.3%)
- Non-discretionary
- $1.3 million
- Accounts
- 8 (1 discretionary)
- Clients
- 7, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $171,998
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Florida | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #18,334 | #1,384 | $1.4 million |
| Independent RIAs with the most clients | #18,444 | #1,357 | 7 |
| Independent RIAs with the most accounts | #17,931 | #1,342 | 8 |
| Independent RIAs with the most advisory staff | #10,188 | #740 | 1 |
| Newest independent RIAs | #1,009 | #79 | $1.4 million |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $1.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 7 clients | $1.4 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
1 of the firm's 1 IAR is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Florida
| Firm | City | RAUM |
|---|---|---|
| Seven Pines Capital, LLC | Indialantic | $1.5 million |
| Aurelia Capital Advisors, Inc. | Atlantis | $1.4 million |
| Watership Private Capital Management, LLC | Brandenton | $1.4 million |
| Emk Investment Advisors, LLC | Boynton Beach | $1.4 million |
| Baf Advisors Corp | Miami | $1.4 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- EM Financial Services, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.emfinancialservices.com
- Independent RIAs in Florida
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.